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SWK Holdings Corp — Director's Dealing 2014
Aug 20, 2014
33762_dirs_2014-08-20_9ac003b8-3cc9-4d0e-9b4e-f840354176c0.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SWK Holdings Corp (SWKH)
CIK: 0001089907
Period of Report: 2014-08-18
Reporting Person: Pope James Brett (Director, Chief Executive Officer)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2014-08-18 | Common Stock Right to Buy | $1.37 | M | 500000 | Acquired | 2024-08-17 | Common Stock (500000) | Direct |
| 2014-08-18 | Common Stock Right to Buy | $1.37 | M | 500000 | Acquired | 2024-08-17 | Common Stock (500000) | Direct |
Footnotes
F1: Comprised of stock options granted pursuant to the Company's 2010 Equity Incentive Plan and form of Stock Options Agreement. The options vest 25% on each of December 31, 2015, December 31, 2016, December 31, 2017 and December 31, 2018.
F2: Comprised of stock options granted pursuant to the Company's 2010 Equity Incentive Plan and form of Stock Options Agreement. The options vest if Issuer's 30-day average stock price is $2.06 per higher and will be cancelled of the stock price fails to meet such vesting criteria prior to 12/31/2018.